14 December 2023 | Policy | Recommendation DOC-2012-02 … a detailed explanation of the steps planned to achieve compliance. 2. Implementing the “comply or explain" principle … recommendation on multiple directorships or explaining non-compliance. 1.7 Restrictions on the powers of the chief … officers holding multiple directorships or explaining non-compliance. 1.1.11 Restrictions on the powers of the chief … |
14 December 2023 | Policy | Position - Recommendation DOC-2012-19 … 28 3.2.6.1. Compliance and internal control system … vitae of the senior managers, financial managers, the compliance and internal control manager (RCCI) and any other … 19 December 201222, the person or persons responsible for compliance and internal controls (RCCI) must have the … |
12 December 2023 | Form/Reporting | Digital Asset Service Provider (DASP) - Registration/Optional licensing application forms - Forms & declarations To submit your registration or optional licensing application, you must fill in the following five forms, which specify the required information and documents.… Questionnaire … Self-assessment questionnaire on compliance with the cybersecurity requirements described in … |
07 November 2023 | AMF news release | The ACPR and AMF encourage financial institutions to continue their efforts to take account of the vulnerability of ageing clients The joint unit of the Autorité de contrôle prudentiel et de résolution (ACPR) and the Autorité des marchés financiers (AMF) has published a summary of interviews with finance professionals on the progress of their work to take account of the specific characteristics of vulnerable ageing clients when marketing financial products.… to seek a second opinion from a line manager or legal, compliance or risk department to implement increased … of financial products to vulnerable ageing customers. Compliance checks are carried out in a limited number of … annual reporting to the governance bodies responsible for compliance risk could make it possible to monitor … |
02 November 2023 | Policy | Instruction DOC-2016-02 Instruction DOC-2016-02 describes the organisational conditions that must be fulfilled by a portfolio asset management company managing AIFs wishing to grant loans. It defines the requirements for obtaining authorisation or an extension of authorisation. It also specifies the conditions for reporting to the AMF and the Banque de France for the…… jurisdiction. In particular, the analysis must confirm compliance with: - any rules on banking monopoly or banking … |
25 October 2023 | AMF news release | Regulatory reporting by asset management companies: the AMF calls for greater diligence The AMF has published the results of a SPOT (Supervision of Operational and Thematic Practices) inspection campaign on the processes of preparing, verifying, and transmitting regulatory reports to the AMF. The findings show that management companies need to be more diligent about the quality of the data they submit.… activities. For all the companies in the panel, the Chief compliance and internal control officer is involved either in … for greater diligence … Supervision … Asset management … Compliance … |
20 October 2023 | Public statements | Speech by Marie-Anne Barbat-Layani, AMF Chair - Fintech AMF-ACPR Forum, Monday 16 October 2023 … (such as automatic data capture), risk management and compliance (including solutions for detecting fraud, … |
06 October 2023 | Public statements | Speech by Benoît de Juvigny, AMF Secretary General - AFME’s 7th Annual European Compliance and Legal Conference – 28 September 2023, Brussels … AMF Secretary General - AFME’s 7th Annual European Compliance and Legal Conference – 28 September 2023, Brussels … to participate in this 7th edition of AFME’s European Compliance and Legal conference. It is a real pleasure to be … AMF Secretary General - AFME’s 7th Annual European Compliance and Legal Conference – 28 September 2023, Brussels … |
04 October 2023 | In-depth | Sustainable finance Finance must contribute to the transition towards a more sustainable economy. Focus on our approach, our publications, and actions in the field of sustainable finance.… the AMF has published a Summary of SPOT inspection on compliance with non-financial contractual commitments by … inspection on internal processes designed to ensure compliance with the non-financial contractual commitments of … |
03 October 2023 | Policy | Position DOC-2018-04 The AMF adopts the ESMA guidelines on MiFID II product governance requirements (ESMA35-43-3448) for investment services providers. These guidelines, incorporated into position DOC-2018-04, aim to detail the obligations of manufacturers and distributors, particularly with regard to the categories to be taken into account in defining a target market…… directive, it being understood that the verification of compliance with provisions applicable to the governance of … |
Head of publications: The Executive Director of AMF Communication Directorate. Contact: Communication Directorate – Autorité des marches financiers 17 place de la Bourse – 75082 Paris cedex 02